| 18-02750 | 10/30/2019 | Claimant(s): Jerry Steelman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Woodstock Financial Group.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Thomas Joseph Atkinson, Stephen Earl Clark, Richard Manuel Barcia
Hearing Site: Memphis, TN
|  | $154,000 |
| 16-00737 | 02/12/2019 | Claimant(s): R. A. Rosario, for his Retirement Plan
Claimant Lawyers(s): Normarie Rodriguez-Perez
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara Lydia Velez Santiago
Arbitrator(s): Thomas Joseph Atkinson, Jane A. Smith, Neil Harvey Smith
Hearing Site: San Juan, PR
| | $135,630 |
| 18-02123 | 01/14/2019 | Claimant(s): Thomas W. Riordan WFCS Cust. Trad IRA, Thomas Riordan & Barbara Riordan JTWROS
Claimant Lawyers(s): Thomas Riordan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $4,600 |
| 16-03105 | 06/14/2018 | Claimant(s): Deborah Gartner
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Aaron Ray, Vanguard Capital
Respondent Lawyers(s): Aaron Christopher Ray, Jeffrey S. Kob
Arbitrator(s): Thomas Joseph Atkinson, Jack A. Helms, Alan E. Linden
Hearing Site: Orlando, FL
| | $90,300 |
| 17-02443 | 06/05/2018 | Claimant(s): Columbus- Sierra, Peter Sierra Living Trust dtd 4/15/14
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Edith N. Dinneen, Thomas Joseph Atkinson, Ronald Charles Waters
Hearing Site: Orlando, FL
| | Dismissed by Rule 12206 |
| 16-02503 | 06/04/2018 | Claimant(s): Brent Adkison, Joan Adkison
Claimant Lawyers(s): William E. Goodwin
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Kenneth R. Starr, Thomas Joseph Atkinson, Ralph O. Bolt
Hearing Site: New Orleans, LA
| | $0 |
| 15-02117 | 12/19/2017 | Claimant(s): Cust IRA FBO Julia Dobbins Joyce, Cust IRA FBO Kaye C. Idol, Cust IRA FBO Steven Michael Joyce, Cust IRA FBO Walter Lane Idol Jr., Cust Rollover IRA FBO Paschal Dobbins, Steven Joyce and Julia Joyce JTTEN, Walter Idol Jr & Kaye Idol JTTEN
Claimant Lawyers(s): David Gaba, Patricia L. Vannoy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Michael E. Weddington, Thomas Joseph Atkinson, Danny Lynn Ingram
Hearing Site: Raleigh, NC
| | $462,080 |
| 16-02217 | 11/07/2017 | Claimant(s): Benjamin Butera
Claimant Lawyers(s): David P. Meyer
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): Stuart K. Furman, Thomas Joseph Atkinson, Lauren S. Puritz
Hearing Site: Orlando, FL
| | Expungement |
| 15-02697 | 09/27/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Deirdre Wolff
Respondent(s): John Giangrande
Respondent Lawyers(s): James Weston
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Columbia, SC
| | |
| 14-03811 | 11/18/2016 | Claimant(s): Teresa Rosas, Condado Motors.
Claimant Lawyers(s): Eric Quetglas Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Andrew W. Sidman, Angela A. Turiano
Arbitrator(s): Langfred W. White, Thomas Joseph Atkinson, Jaime J. Aponte-Parsi
Hearing Site: San Juan, PR
| | $776,540 |
